(21) IRM 1.4.18.9.3 Staffing Requirements - Revised factors for systems analyst to consider when segmenting work to the various sites. Removed information about tabs
on spreadsheet. There is only one tab in the current spreadsheet and it is now completed at a site level.

(32) IRM 1.4.18.12.3 EPSS Communications - Added sentence for managers to email requests to add or delete employees from the EPSS Communication distribution list
to the EPSS Operations Support management and program assistant.

Audience

Managers of Electronic Products and Services Support employees

Effective Date

(10-01-2014)

Related Resources

Managers will use this IRM in conjunction with IRM 3.42.7, e-help Desk, IRM 3.42.9, Filing Information Returns Electronically (FIRE), and IRM 21.3.11Information Returns Reporting Procedures, which provides policies and procedures for Electronic Products and Services Support assistors and other users.

Electronic Products and Services Support (EPSS) managers must provide leadership and direction to employees responsible for
supporting IRS electronic products (e-products). Electronic Products and Services Support (EPSS) recognizes the importance
of using innovative technologies and employs a holistic approach to managing users of IRS electronic products.

The primary tool for documenting customer contacts is the e-help Support System (EHSS). Contacts are documented as Interactions
and used to capture and track information such as who is reporting the problem, the nature of the problem, and the solution
to the problem (including failed solutions). This ensures the customer’s complete contact history with EPSS is documented.

1.4.18.1.1
(10-01-2013)Help Desk Support

EPSS is staffed by employees with extensive knowledge of IRS electronic products. Some tasks performed in the position require
a very specialized skill set.

EPSS escalation path for assistance is as follows:

Level 1 - The assistor is the first point of contact for customer issues. The Level 1 assistor maintains contact directly with the
customer and interfaces with internal support groups as necessary. Level 1 handles all issues within the scope of their training
and authority. They are responsible for documenting the Interaction in a detailed and complete manner. Typical issues include,
but are not limited to, failed transmissions, rejected returns, and assistance with Internet-based applications. If an issue
is beyond the scope of Level 1, the Interaction is transferred/escalated to Level 2 or as instructed in the solution.

Note:

Once an Interaction is escalated it becomes an Incident.

Level 2 - The employee has more experience, knowledge and training needed for resolution of an issue. Level 2 personnel include but
are not limited to Information Technology (IT) specialists, leads, managers, business analysts, etc. Level 2 resolves issues
and follows up with the customer to ensure all issues have been resolved to the customer's satisfaction. Typical issues include,
but are not limited to, error code issues resulting from web products, e-services trouble shooting, and communication and
connectivity issues not resolved at Level 1. Level 2 will engage Level 3 as necessary.

Level 3 - Personnel interfaces with internal groups, not external customers. System administrators and developers handle issues which
may include but are not limited to, web server availability, undocumented hard code errors, etc.

EHSS is used to provide support to external customers. It is the primary tool for customer interaction and trouble-ticketing.
Email is a function within EHSS that allows EPSS to manage and track emails from select customers, from arrival through response.
The email function provides for intelligent routing service-level management and reporting. It allows for content management
through content analysis techniques and keyword searches to automate problem identification. EPSS is a full service support
network skilled in providing technical assistance to external customers who encounter problems using IRS electronic products.

1.4.18.2
(04-03-2014)EPSS Business Measures

It is essential to establish quantitative performance measures for the proper operation of any organization. EPSS has established
measures that support and reinforce the achievement of the IRS' stated mission and overall strategic goals. The IRS has developed
Balanced Measures that are central to the five levels of change identified for restructuring and modernization.

The three areas of measurement are:

Customer Satisfaction – The telephonic survey provides the IRS with the ability to analyze customer feedback. This allows EPSS to monitor satisfaction
and instantly know which aspects of the e-services applications have the greatest impact on overall customer satisfaction
and customer retention.

Business Results – EPSS has developed and implemented business measures to provide information on current performance, determine if goals
are met, and identify improvement opportunities. The results from the measures are communicated to customers, stakeholders,
and other interested parties.

The EPSS business measures and their definitions are below. EPSS provides the Business Measure Goals in the annual program
letter.

Customer Accuracy – Customer Accuracy is defined as a live assistor providing the correct answer with the correct resolution. It measures how
often the customer received the correct answer to their inquiry and/or had their case resolved correctly based upon all available
information and IRM required actions. This measure is a weighted score to reflect the relative volume of the e-help Phones
Specialized Product Review Group (SPRG).

First Contact Resolution (FCR) – The percentage of customer Interactions resolved on first contact.

Level of Service – The relative success rate of tax professionals that call seeking assistance from an e-help Desk or Technical Services Operation
(TSO) employee.

Average Speed of Answer – A measure of the average number of seconds customers waited in queue before receiving service from the e-help Desk or TSO.

Third Party and Business e-Transactions - The sum of all e-services transactions processed through the Integrated Enterprise Portal (IEP) by third parties.

Number of Information Returns Filed Electronically - Total number of information returns processed electronically – includes Form 1098, Form 1099, Form 5498, Form W-2G, Form
1042-S, and Schedule K-1 (excludes Form W-2 and Form 1099-SSA/RRB received from SSA).

Percent of Information Returns Filed Electronically - The percent of information returns processed that were electronically filed – includes Form 1098, Form 1099, Form 5498,
Form W-2G, Form 1042-S, and Schedule K-1 (excludes Form W-2 and Form 1099-SSA/RRB received from SSA).

1.4.18.3
(03-01-2007)The Manager's Roles

Broadly stated, EPSS managers fulfill three roles:

Leading employees to achieve a goal

Executing administrative responsibilities

Scheduling and controlling the assigned workload

This IRM is organized along these three topics.

1.4.18.4
(10-01-2013)Leadership

Leadership is the process of influencing people to achieve a set of desired results. As a team leader in the EPSS organization,
your role significantly impacts the achievement of the program objectives. You are expected to take ownership of all program
assignments and be knowledgeable of all policies and procedures contained within this IRM, IRM, Part 1 (Organization and Staffing,
Wage and Investment Division) as well as IRM 3.42.7, e-help Desk, IRM 21.3.11, Information Returns Reporting Procedures, IRM 3.42.9, Filing Information Returns Electronically (FIRE), and other applicable IRM references.

Note:

Managers must be knowledgeable of the electronic products (i.e., e-file, e-services, EFTPS, FIRE, and SAM) worked by their
site. If a site has more than one manager, the responsibilities will be shared by the managers.

It is important that you lead by example. The workgroup will follow your leadership when they view you modeling what you communicate.
Leadership requires that you model the highest standards of ethics and integrity. A workgroup is reflective of its leadership.
A positive attitude will influence your employees and contribute to creating a quality work environment.

Leadership involves coaching and mentoring your employees. As you identify opportunities for performance improvement, it is
your role as a leader to assist the employees in improving performance through coaching, mentoring, and providing timely feedback.
As a leader at the IRS, you are to lead using the balanced measures approach by considering customer satisfaction, employee
satisfaction, and business results. See IRM 1.4.18.2, EPSS Business Measures.

A major objective of IRS Leadership Development is promoting and supporting continuous learning. See the following web site
for information on leadership development: http://hco.web.irs.gov/devtrain/index.html.

1.4.18.5
(10-01-2014)Administrative Guidelines

General administrative guidelines for all IRS managers are found in IRM 1.4,Resource Guide for Managers.

Internet and intranet web sites contain the most up-to-date information. IRM 1.4.1.14, Quick Links to Useful Web Pages for Managers, is especially helpful. It provides links to useful web sites where managers can find guidelines and instructions to complete
their jobs. There are also sites designed to assist with the development of managers and their employees. A few of the many
helpful sites are shown below:

IRS Intranet Home Pagehttp://irweb.irs.gov/ – Provides the starting point for research.

iManage web site http://win.web.irs.gov/iManage.htm - Contains information, links, tools, videos and more to help managers grow
and succeed in their roles as leaders.

Life Links http://win.web.irs.gov/lifelinks_home.htm – Provided by the W&I Division for its managers.

Mandatory Briefings http://e-learning.web.irs.gov/Briefings/index.html – Provides information on the delivery of mandatory employee briefings.
Encourage employees to utilize the Enterprise Learning Management System (ELMS) to take the briefings. ELMS automatically
updates their learning history as they finish each briefing and tracks their progress.

1.4.18.5.1
(09-23-2011)Recurring Duties of the EPSS Manager

The work in EPSS is often fast-paced and intense. Managers must continually be cognizant of the conduct and performance of
permanent and returning seasonal employees, as well as the progress of any new hires. At the same time, an acceptable level
of service must be provided to customers and an acceptable level of inventories maintained.

A ready knowledge of administrative procedures is essential. Procedures must be implemented timely so that resources can be
best utilized. Thus, it is critical that managers be alert to tasks that occur at regular intervals.

The following sections provide a breakdown of some of those tasks and the intervals at which they should be performed. Though
not all inclusive, it serves as a quick reference guide of managerial duties. For detailed instructions, always refer to the
National Agreement or other appropriate resource materials.

1.4.18.5.1.1
(10-01-2014)Daily Duties

Perform the following duties daily:

Check voice mail – Check personal voice-mail for important messages. This is especially important at the beginning of the shift when employees
may call in if they are unable to come to work.

Check email – Check email throughout your shift. You may wish to set Microsoft Outlook to notify you when messages are received.

Attend conference calls – Because EPSS sites are in different locations around the country, conference calls are one of the primary means of communication.
Attend calls promptly and submit agenda items when appropriate prior to the meeting.

Escalate program issues - Escalate program issues to the appropriate Operations Support (OS) analyst for research/resolution. Do not send technical
program issues directly to an external analyst or to the Quality Team, EHSS Solutions Board, etc. as this will delay the response.

Reply timely to items requiring a response – Items requiring a response may be received in meetings or more frequently by email. Respond within the requested time frame,
even if the response is "none,"
"NA,"
"no comment,"
or "negative."

Sign Online 5081 requests – Employees can request access to a system, have a profile unlocked, or a password reset through the Online 5081 system.
When an employee makes a request, you will receive an email notification. Signing these requests is a priority.

Maintain attendance roster – Attendance and leave usage will be recorded daily to help identify developing issues. When a leave issue problem is detected,
counseling and documentation will be initiated.

Evaluative Review – Review and complete documentation for Interactions and telephone calls for each employee. You may wish to complete some
each day. See IRM 1.4.18.5.4.1, Monitoring and Reviews.

Review and Share Centralized Quality Review System (CQRS) Defects – If you disagree with the defect charged, ensure your rebuttal is submitted to the Quality Team no later than ten business days from the date that the call was reviewed by CQRS. If you agree with the defect, share the review with the employee. Refer
to IRM 1.4.18.5.4.8, Centralized Quality Review System (CQRS).

Monitor WebView – Use this tool to manage lunches, breaks, confirm the number of assistors on the telephone, and reassign staffing as needed.
Communicate to upper management and the operation's telephone system analyst on any obstacle that will prevent adherence to
the telephone schedule. The operations telephone analyst will notify the program analyst if needed. See IRM 1.4.18.9.3.8, WebView.

Review Daily Aspect Crystal Reports – Use these tools to identify and address areas of concern, such as extended or frequent idle periods and excessive wrap
times. See IRM 1.4.18.10.2, Aspect Crystal Reports.

Monitor EHSS – Monitor EHSS for open Interactions/Incidents. Ensure EHSS worklist and leads worklist items are being assigned timely and
elevated issues are being resolved. Respond to escalation emails.

1.4.18.5.1.2
(10-01-2014)Weekly Duties

Perform the following duties weekly:

Review Forecast Staffing Requirements – Review the forecast upon receipt and daily, if necessary, to ensure adherence. Inform your department manager (DM) of any
obstacles that will prevent you from meeting the schedule, such as scheduled meetings or training, or completing paper inventories.

Review Ultra Intelliquality Inbox – Review the Contact Recording Inbox to ensure that all employees appear in the list of team members and calls are populating
for each employee.

Request any overtime or compensatory hours – The request needs to be made by the second Tuesday of the pay period prior to the pay period the overtime or compensatory
hours are needed.

Review and validate WebSETR (Single Entry Time Reporting) input – Check all entries (functions, programs, time codes, hours and volumes) for each employee and validate/sign weekly by close
of business (COB) Friday. Print the Employee Summary report the first Tuesday of the pay period (especially when there is
a major change in staffing) to ensure all employees are included. Verify entries are reviewed, validated and signed by COB
the second Friday of each pay period for all employees.

Changes to SETR records - Changes that were signed by COB Friday of each pay period must be entered, final validation, and SETR signed again no later
than 10:00 a.m. Eastern Standard Time on Monday after the pay period has closed.

Perform Auto 2787 Overtime Reconciliation – Overtime, compensatory and holiday hours worked, must be requested, authorized and funds approved in advance. After the
hours are worked, the Form 2787 Authorization and Report of Overtime Worked (excel version) is submitted to the appropriate managers for signature. The report must be input and completed no later than
COB Tuesday following the end of the pay period. Two complete and accurate copies of the report will be given to the department
management and program assistant. Keep one copy for your files. A separate report must be prepared for compensatory time worked.
Be sure to use the correct authorization number for each report.

IDRS Online Reports Services (IORS) - Managers must access the IDRS Online Reports Services (IORS) system on a weekly and monthly basis to perform required electronic
security reviews for employees with access to the IDRS system.

Security Audit & Analysis System (SAAS) - The Security Audit and Analysis System (SAAS) implements a data warehousing solution to provide on-line analytical processing
of audit trail data. The system enables IRS and Treasury Inspector General for Tax Administration (TIGTA) to detect potential
unauthorized accesses to IRS systems and will provide analysis capabilities and reporting on data for all modernized and some
current processing environment applications.

1.4.18.5.1.3
(10-01-2014)Monthly Duties

Perform the following duties monthly:

Prepare annual evaluations – Annual ratings must be issued on a monthly basis between October and June. The due date is determined by the last digit
of the employee's social security number (SSN). Develop a listing of all team employees based on their SSNs to ensure that
no employee is omitted.

Prepare progress reviews – All employees must receive at least one progress review before the end of the rating cycle. See National Agreement, Article
12, Sections 2L and 9, at http://hco.web.irs.gov/lrer/negagree/natagree/index.html.

Consider employees for career ladder promotions – Employees in career ladder positions will be promoted in the first pay period after they become minimally eligible to be
promoted and they are capable of satisfactorily performing at the next higher level. It is the manager's responsibility to
track career ladder promotions and submit personnel actions timely. The Employee Resource Center (ERC) has a link to a Career
Ladder Promotion Calculator at http://erc.web.irs.gov/Displayanswers/AnswerType.asp?QuestionID=1631&SubCategoryID=0&CategoryID=115&FolderID=5
to help identify when the promotion is due. If there are questions about an employee’s eligibility date due to prior experience,
temporary promotions, etc., the manager may submit an ERC ticket and request verification of eligibility. See National Agreement,
Article 13, Section 8 at http://hco.web.irs.gov/lrer/negagree/natagree/index.html. Use data from Embedded Quality Review System
(EQRS) reviews, phone, email, paper, and other sources to complete documentation and share it with employees. A signed copy
of the documentation will be placed in the Employee Performance File (EPF). Mail a copy of the documentation to employees
who are in non-work status.

1.4.18.5.1.4
(10-01-2014)Periodic Duties

Perform the following duties periodically:

Correct personnel/payroll problems – Promptly address any employee concerns regarding personnel or payroll. Employees may initiate an inquiry themselves or
contact you for assistance. Contacts (calls or online requests through OS GetServices) to the ERC will be diligently tracked.
Provide detailed information on the service ticket to better assist the Human Resources technician who will respond to your
inquiry.

Direct Travel – The manager is responsible for directing travel, approving travel expense estimates, and the expenses incurred. Official
travel must be consistent with the assignment and not for personal preference or convenience. Travel questions and concerns
will be resolved prior to beginning a trip. See IRM 1.32.1, Official IRS Local Travel Guide and IRM 1.32.11, Official IRS City-to-City Travel Guide.

Submit release and return-to-duty schedules – When several employees are being released, prepare the schedule as soon as possible and submit to the department management
and program assistant. Return-to-duty schedules cannot be input until the employee actually reports, but ensure they are prepared
timely.

Request vacation schedules – Request vacation schedules from all employees. Annual leave requests made by seasonal employees are subject to the same
considerations as requests made by other employees; however, requests may be denied if approval would cause a severe workload
interruption. See IRM 1.4.18.5.2.1,Leave Scheduling Process, and the National Agreement, Article 32, Section 3C at http://hco.web.irs.gov/lrer/negagree/natagree/index.html for additional
information.

Prepare for an operational review – Operational reviews can be conducted at any time during the year. Ensure record keeping is up-to-date and employee’s EPFs
and drop folders contain current documentation.

Prepare commitments and self-assessments – Prepare commitments at the beginning of the rating period. Keep a drop file of achievements. Prepare a self-assessment
based on the Performance Management System's critical performance expectations for your mid-year and annual evaluations. The
manager will provide guidance as needed.

Submit Training Request - Submit all training to the *W&I EPSS Training mailbox as a meeting invite with a class roster attached. This will ensure the training is captured by both the telephone
systems analyst (SA) staff in forecasting and by the Workforce, Planning, Training and Quality (WPTQ) staff in planning.

1.4.18.5.1.5
(10-01-2014)Annual Duties

Perform the following duties annually:

Conduct Expectations Meeting – Meet with employees annually to share your expectations. All Service employees are subject to the Office of Government
Ethics (OGE) Standards of Ethical Conduct. Document 12011, "Plain Talk about Ethics and Conduct,"
provides an overview of the most common conduct and ethical issues facing Service employees. A receipt for the expectations
will be signed and placed in the employee's drop file, along with other conduct documentation. The National Treasury Employees
Union (NTEU) will be notified of the meeting.

Assign employees to a performance plan – Provide employees with a copy of their performance plan, which includes the Retention Standard and Critical Job Elements
(CJEs), annually. This can be shared during Expectation Meetings.

Note:

Employees must receive their CJEs within 30 days of their last annual rating.

If you receive new employees this can be shared in an Expectations Meeting. Ensure Form 6774, Receipt of Critical Job Elements and Fair and Equitable Treatment of Taxpayers Retention Standard, is signed and kept in the employee's EPF. Meet individually with leads to communicate additional expectations for them.
Provide training on managerial duties so that they can act for you in your absence. Keep a drop file of employees' accomplishments
as you observe their performance.

Conduct Mandatory Employee Briefings – The IRS uses online delivery tools for six mandatory employee briefings: Information Management which includes Unauthorized
Access (UNAX), Computer Security Awareness, and Privacy/Disclosure. The additional briefings are Prevention of Sexual Harassment
(POSH), Ethics, and Safety and Health. Direct employees to complete the briefings accordingly. After all employees have completed
the Ethics briefing, schedule a formal discussion. The traditional "in person"
method of delivery for any of these briefings is considered a formal discussion and managers must follow the procedures
in the National Agreement, Article 8, Section 1. Contact your local Labor Relations (LR) specialist on any questions concerning
formal discussions. See National Agreement at http://hco.web.irs.gov/lrer/negagree/natagree/index.html.

1.4.18.5.2
(10-01-2012)Leave Administration

Managers must consider the enterprise workload and staffing needs by application prior to planning, scheduling, and approving
annual leave.

Managers must balance the need to accomplish the work of the organization with accommodating employees who want to use leave.
Annual leave must be granted or denied dependent on the workload of the unit. Sick leave must be used according to its intended
purpose.

It is important that leave issues be addressed early and consistently. A leave problem results whenever an employee fails
to meet or follow the manager's expectations regarding leave.

1.4.18.5.2.1
(10-01-2014)Leave Scheduling Process

Schedule employee vacations and other leave in such a way as to minimize the effect on the accomplishment of the work. When
there are conflicts, grant preference to employees with the most service as determined by enter on duty (EOD) date. When it
is anticipated that call volumes will be greater than usual, use discretion when granting leave.

Review and approve leave using either a yearly or quarterly calendar following these general guidelines:

Provide employees with a yearly calendar identifying workload peaks when leave will be limited.

If using a yearly calendar, request that employees submit completed calendars no later than February 1st.

If using a quarterly calendar (January – March, April – June, July – September, October – December), request the employees
complete the quarterly calendar 60 days before the quarter begins. All leave will be approved/denied 30 days before the beginning
of each quarter.

Consider atypical conditions on a case-by-case basis no matter which method is used.

Ask seasonal employees to submit leave requests within five (5) workdays of return to duty status.

Leave scheduling is done at the team level and based on adherence; however the scheduling of major holidays, is done enterprise
wide.

Reminder:

Be sure to have enough employees on board so you can staff according to schedule during the holiday period in December and
January.

For additional policies on leave issues, the following resources are available:

1.4.18.5.2.2
(03-01-2007)Leave Counseling

Leave usage will be monitored frequently. Counsel employees with leave issues as problems occur. Each employee will be provided
with summary leave documentation at least quarterly.

Take the following steps to address a leave problem:

Leave Reminders – After recognizing that a problem exists, bring the problem to the employee's attention in an informal discussion.
Use a memorandum to ensure that the employee understands your expectations. Explain the reason for the expectations as well.
Encourage the employee to participate in developing a solution to the problem.

Memorandum for the Record – If satisfactory improvement is not made, counsel the employee again. Reiterate your expectations
and explain how the employee is not in compliance.

Leave Restrictions – If the problem continues, discuss the situation with your DM and contact your LR specialist for guidance.
A "Leave Restriction"
letter may be necessary.

Reminder:

1.4.18.5.3
(03-01-2007)Conduct Counseling

Most employees report to work on time, adhere to office rules, and have a positive attitude. Sometimes, however, there are
exceptions. On these occasions, managers must take steps to address the problems.

The three rules for effective conduct counseling and documentation are to be fair, consistent, and specific. Address conduct
issues immediately and document your counseling sessions.

Always make sure you provide the necessary details: who, what, where, when, why, and how. Make your documentation clear and
concise. Before scheduling your counseling session, contact your LR specialist to determine if the employee has a right to
union representation at the counseling session. Your LR specialist also can provide guidance on how much advance notice is
required to provide the employee with sufficient time to contact a steward if the employee has a right to representation,
and the employee wants representation at the counseling session.

Note:

If a steward is requested, the steward's manager must be contacted to confirm the time and length of the meeting.

To plan for your counseling session, ask yourself the following questions:

What is the situation? Be very specific and look for facts.

What do I know about the employee?

What do I hope to accomplish in this discussion?

How will I open the session, ask questions, discuss follow-up plans, and conclude the discussion?

The following steps may be helpful when counseling employees about their conduct:

Describe the situation in detail. Use specific, observable facts to describe exactly what the employee did.

Explain what the employee should have done.

Refer to guidance such as Operations Expectations or Document 12011, "Plain Talk About Ethics and Conduct"
.

Ask for the employee's assistance. This should be very clear. For example, "I need your help in resolving this."

Discuss a specific action plan for follow-up.

Sign and date the documentation. The employee will also sign. The employee's signature only indicates receipt, not agreement,
with the documentation.

Note:

If the employee refuses to sign, annotate this on the document.

Provide the employee with a copy and place the original in the employee's "drop"
file.

Follow the direction of your DM or LR specialist regarding the issues below:

Designated Duty Hours

Excessive Talking

Excessive Telephone Usage

Lunch and/or Breaks Schedules

Sleeping on the Job

Note:

Remember to provide employees a "Pat-on-the-Back"
when you observe positive conduct and/or performance.

Forward employee counseling memos on conduct issues to your DM and LR specialist, when appropriate, for review prior to sharing
them with employees.

1.4.18.5.4
(03-01-2007)Employee Performance

As the leader of your workgroup, you are responsible for the development of your employees. Clear, fair, and consistent communication
is essential. What you say, or do not say, impacts your employees' performance, which in turn impacts business results. Ensure
that you provide consistent communication to your employees on their performance. Employees want and need to know how they
are doing so they can learn and grow.

1.4.18.5.4.1
(10-01-2014)Monitoring and Reviews

As a part of the IRS Performance Management System, supervisors must continuously monitor employees' progress against critical
performance expectations, identify deficiencies, and initiate corrective actions. Observations must be documented throughout
the performance period. This will aid you when completing the mandatory mid-year progress reviews and annual evaluations.

Employee performance while on the phone has two components: reviewing the call audio and screens, if available, through Contact
Recording and capturing review documentation in an Embedded Quality or Contact Recording Data Collection Instrument (DCI).
Evaluating an employee's performance has two components: reviewing documentation made in appropriate systems (e.g., EHSS)
and monitoring telephone calls on Aspect. Contact Recording will be used for this purpose. For additional information on the
use of Contact Recording see IRM 1.4.18.5.4.6,Contact Recording.

Telephone reviews, case reviews, and reviewing documentation are performed for the following reasons:

To make an objective assessment of an employee’s performance on an ongoing basis and to ensure that adequate information is
available for mid-year and annual appraisals

To protect the rights of customers

To identify training needs

All reviews must be documented in writing and readily available. Focus performance reviews on effective case and call resolution
according to IRM guidelines. Emphasize the importance of quality service as well as the efficiency of case work and telephone
calls. For telephone calls, managers will determine whether the handle time is appropriate to the call reviewed, considering
hold time, wrap time, and talk time. Calls will also be reviewed to assess professionalism. Always provide IRM references
to assist with training needs and IRM clarification. When reviewing phone calls, Timeliness and Professionalism attributes
are subjective; managers must consider the situation and complexity of the call when making determinations.

A manager narrates the review using enough detail to support their assessment. Clearly identify to the employee actions taken
(or not taken) to accomplish the CJEs. The evaluative review forms used in EPSS, in both Embedded Quality Review System and
Contact Recording, identify the CJE for each action the employee addressed during the call. Provide examples of what employee
said and examples of what could have been said.

Perform the required monitoring and paper reviews each month. Department managers and/or operations managers must set review
requirements for their call sites. Conduct a balance or mix of these reviews (telephone and paper reviews) throughout the
year relative to an employee's work assignments. When necessary, conduct side-by-side non-evaluative reviews for skill development.

E-help and TSO Customer Service Section management will conduct a minimum of two telephone reviews per employee per month.
If employees work paper (including email, forms, correspondence etc.) managers will conduct one paper review per employee
per month.

TSO Filing Information Returns Electronically (FIRE) Support (FS), Information Filing Support (IFS), and Products and Services
Support (PSS) management will conduct a minimum of two telephone reviews per employee per month. Results of the reviews will
be documented in Contact Recording.

All managers will develop a monthly schedule that lists all employees and the date their reviews will be conducted.

Note:

Employees will not be reviewed on the same date each month.

Annotate the reason on the schedule if unable to complete the required number of reviews. Complete the Exception/Waiver Memorandum
when the employee does not receive the required reviews in any month and have it approved by the DM. A waiver is not required
when the employee is not on board for the entire month. Provide a copy to the employee and maintain the original in the employee's
review folder.

Retain and file review sheets in each employee's contact monitoring folder for operational reviews by DMs.

Evaluative telephone monitoring will focus on whether or not the assistor handled the call and documented the case according
to IRM guidelines (e.g., provided sufficient detail in the description or used Knowledge Management to determine the correct
solution). Review results must be linked directly to the employee's CJEs. Use the appropriate Specialized Product Review Group
(SPRG), in EQRS or Contact Recording Evaluations (962, 355, 2210) to record results of a review.

Time frames for sharing feedback are covered in the National Agreement, Article 12, Sections 4 and 9. Evaluative recordation
falls under Article 12 Section 9 and will be shared "within fifteen (15) workdays of the time the supervisor becomes aware,
or should have been aware, of the event which it addresses."
If the employee has provided incorrect information to a taxpayer, the Employer will inform the employee as soon as possible.
See National Agreement, Article 12, Sections 4 and 9, at http://hco.web.irs.gov/lrer/negagree/natagree/index.html.

Note:

Every effort will be made to share employee feedback within two to three business days from the date the manager reviews the
call. This ensures the call is fresh in everyone's mind and limits the amount of time an employee could potentially continue
to make the same mistake.

Evaluative reviews must be conducted by a manager or an individual in an official acting manager capacity. Leads may provide
supplemental evaluative recordation; however, the manager must share the review with the employee. The lead must sign the
documentation as the reviewer and the manager must concur with and sign the review prior to sharing with the employee.

Obtain the employee's signature on the Embedded Quality Review System DCI or Contact Recording Evaluation. Provide the employee
a copy and file a copy in the employee's contact monitoring folder. The shared evaluative review must be filed in the employee's
EPF, with a copy to the employee. When it is time for a progress review or the employee's annual appraisal utilize EQRS or
Contact Recording (CR) Reports to compile data for a specific period.

Note:

EQRS is a standardized data repository with trend analysis capabilities and reporting capabilities to use for employee evaluations.

Always sign and date the documentation before sharing it with the employee. Your documentation is only valid if you have signed it. The employee's signature only indicates receipt, not agreement, with the document. If the employee refuses
to sign, indicate "Employee Refused to Sign"
on the signature line.

1.4.18.5.4.2
(09-23-2011)Managers

Department managers must ensure team managers conduct sufficient telephone monitoring and case reviews to provide employees
with a well documented evaluation. An EQRS or CR Report is available for this purpose.

Managers must use the approved EQRS DCI for each applicable SPRG or Contact Recording Evaluation.

Develop a method for recording the pertinent facts of the call. Ensure all information needed to determine if a call/case
is correct or incorrect is captured.

Conduct a minimum of two evaluative reviews per month (phone or paper) for each employee.

Note:

When an employee works in a blended environment (phones and paper) strive to review a proportionate combination throughout
the rating period.

Department managers provide monthly feedback to front line managers regarding adherence to the review requirement. This feedback
addresses number of reviews conducted for each employee, type of review (paper, phones, targeted) and types of errors identified.

If for some reason reviews cannot be conducted on an employee (e.g., extended illness, furlough, managerial absence, etc.),
a review (exception) memorandum is placed in the Employee's EPF explaining why the required numbers of reviews were not conducted.

Note:

At the discretion of the site, these memos are approved at the department level.

1.4.18.5.4.3
(09-23-2011)Telephone/Paper Monitoring

IRM 1.2.10.1.9, Policy Statement 1-44, includes the use of monitoring employee telephone conversations for evaluative and training purposes.

Telephone/Paper monitoring is an important review within the EPSS organization. When monitoring, managers can determine whether
the employee:

Addressed disclosure issues

Treated the customer with respect, courtesy and fairness

Followed EHSS procedures

Resolved the call/case per IRM guidelines

Provided an accurate answer

Applied appropriate communication skills

1.4.18.5.4.4
(09-23-2011)Feedback and Follow-Up

When problems are consistently identified during the monitoring/reviewing process, managers will determine the best course
of action to correct the problems, e.g., OJI, IRM review, on-line courses, etc.

Review results may reveal strengths and weaknesses of employees and identify the need for managerial monitoring to evaluate
employee performance. Managerial monitoring must be performed independently from Product Reviews. Product Review results can
not be used to evaluate employees.

Product Review data is used to identify trends, problem areas, and overall site quality.

1.4.18.5.4.5
(10-01-2012)Sharing Reviews

Sharing monitoring results is a two-way communication. The Employee Feedback Report or Contact Recording Evaluation are available
for this purpose and must be used. After sharing the review, managers must determine if the employee agrees with their assessment.

If an employee ...

Then ...

Agrees

Commend the positive aspects of the performance

Discuss areas for improvement

Disagrees

Obtain the cause of disagreement.

Commend the positive aspects of the performance.

Discuss openly to resolve disputed issues.

Discuss areas for improvement.

Develop a plan to improve performance.

Note:

Always ensure the employee has an understanding of the EPSS measures and goals and how they relate to the CJEs of their position
description.

Share results of phone monitoring within three workdays. If incorrect information is provided, the results must be shared
as soon as possible. If you do not meet these time frames, (e.g., due to unexpected leave, etc.), notate the reason on the
review sheet.

Obtain the employee's acknowledgment on the designated form. Provide one copy to the employee and retain the other copy for
the Employee's EPF. Sanitize all employee/taxpayer data containing a SSN or name.

Management may request that a recorded contact be downloaded. The reason for the request must be stated clearly on Form 13817, Request for Downloaded Contact. In general, reasons for these downloads are to retain the call for a period longer than the system retention period (45
days) or to provide a copy of the contact to another party when necessary (TIGTA, Labor Relations, etc.). You will download
the call when the Employee disagrees over the content of the contact and the Manager and Employee cannot reach an agreement.

1.4.18.5.4.6
(10-01-2014)Contact Recording

Contact Recording (CR) is a system that captures and stores incoming toll-free telephone contact with customers for the purpose
of possible subsequent review. It is used to perform required random reviews (performance and product) of incoming telephone
contacts. Screen capture is provided for 10 percent of all calls. When screen capture is available, case research and actions
taken in online systems are shown simultaneously with voice recording. The data is stored by employee Standard Employee Identifier
(SEID) for a maximum of 45 days.

Review the inbox for your team each week and ensure recorded calls for each employee are present. If calls for an employee
actively taking calls are not present in the inbox, notify your Business Application Administrator (BAA) immediately. Choose
the most current calls in your inbox for review. This ensures feedback is timely, especially when incorrect information was
provided to a caller.

Use the EQRS e-help/Information Return Specialized Review Group (SPRG) Data Collection Instrument (DCI) or the Contact Recording
Evaluation Form to prepare written recordation of all calls reviewed for evaluative purposes. The performance aspects in each
tool are aligned with the employee's performance plan. After listening to the call, complete the DCI or Contact Recording
Evaluation and enter any necessary remarks. During evaluative feedback sessions, employees will be able to review the entire
conversation and see their on-screen actions.

If the caller indicates they do not wish to be recorded, the assistor must disable the recording using the Stop On-Demand
feature in Contact Recording. These calls will not be evaluated. To ensure assistors are not abusing this feature to prevent
their contacts from being recorded, managers can search Contact Recording under the "Intelliquality"
field by taking the following steps:

Under "Data Range,"
select the dates or number of days to be searched.

Under the "Contact Data Section"
go to the "StopOnDemand"
box, and highlight StopOnDemand.

Under "Site,"
select the desired site.

Click on Search.

Managers and reviewers requiring access to CR must prepare an Online 5081 requesting access for their site or the site they
will be reviewing. The Business Application Administrator (BAA) in the site will approve the form and add the manager/reviewer
to the CR database. In order for the BAA to do this, an email identifying the group number and members is necessary.

Note:

The CR database contains information on each manager and assistor in a site and identifies the group to which they belong.
It is very important the CR database be updated with any changes of managers or assistors (i.e., move to other groups, leave
the service, etc.). Send an email to the BAA with the name, login name, SEID, Aspect Login Number, group number and manager’s
name to have the change implemented.

1.4.18.5.4.7
(09-23-2011)Access to Recorded Calls

Employees may request access to a recorded call used for evaluative purposes and may listen to the call on official time.

At an employee's request, the manager will meet within two (2) business days to listen to and discuss a recorded call together.

The employee may request NTEU representation; however, they must request and receive permission under IRC Section 6103 (b)
(4) (A) to listen to calls.

1.4.18.5.4.8
(10-01-2014)Centralized Quality Review System (CQRS)

Customer Accuracy – Providing the correct answer with the correct resolution. "Correct"
is measured based upon the customer receiving a correct response or resolution to the case or issue, with the necessary
case actions or case disposition taken to provide this response or resolution. This measures accuracy from the customer's point of view.

Regulatory Accuracy – Adhering to statutory/regulatory process requirements when making a determination on taxpayer accounts/cases.

Procedural Accuracy – Adhering to non-statutory/nonregulatory internal processing requirements when making a determination on taxpayer accounts/cases.

Professionalism – Promoting a positive image of the Service by using effective communication techniques.

Timeliness – Resolving an issue in the most efficient manner through the use of proper workload management and time utilization techniques.

CQRS reviews of the e-help Desk are performed using the Specialized Product Review Group (SPRG) for e-help Phones.

Managers will receive a spreadsheet showing all reviews performed by CQRS. If a manager disagrees with a defect, they will
complete the attached rebuttal sheet and adhere to the due dates provided in the email with the daily DCIs from Workforce
Planning, Training, and Quality (WPTQ). This will ensure rebuttals are forwarded to CQRS timely. More guidance regarding rebuttals
to CQRS can be found in IRM 21.10.1.8.1, CQRS Defect Rebuttal Procedures.

The manager will share the review with or without defects with the employee. When sharing reviews with employees it is a good
idea to have the e-help Phones Job Aid available. The job aid can be found on this link http://eq.web.irs.gov/jo/00Jo.aspx.

1.4.18.5.4.9
(10-01-2014)Training

EPSS training requirements can be found on the EPSS Training SharePoint at https://organization.ds.irsnet.gov/sites/WICASEpss/Train/default.aspx.
Each site has a Training Coordinator who is required to complete the following:

Submit an initial training schedule to Workforce Planning, Training, and Quality (WPTQ) analyst by July 1st.

Notify WPTQ Analyst and SA staff of any and all changes to training by sending an updated meeting Invite to the *W&I EPSS Training mailbox. Include a revised class roster.

Verify that all required courses are listed as completed in their employees’ training history on the Enterprise Learning Management
System (ELMS).

The WPTQ Analyst will monitor the training schedule to completion. The analyst will pull random samples of employees' training
histories in ELMS to ensure training has been delivered timely and as required. When there are discrepancies an email is issued
to the specific site, and the following guidelines apply:

If your site is not listed, you did not have any training scheduled for the month.

Ensure that the information reported is accurate (i.e., training dates, training hours spent, number of employees trained,
and type of employee trained).

Submit new training dates for all courses that are in "incomplete"
status.

Managers are expected to provide timely training that an EPSS assistor will need to be proficient in their job.

All front line managers must take all of the courses with employees. Attending the training on an annual basis will ensure
that you are proficient and will enable you to appropriately coach and monitor employees, handle elevated customer issues,
and address problems that may develop.

1.4.18.6
(09-23-2011)Non-Evaluative or Coaching Reviews

Managers and/or their technical lead can perform non-evaluative monitoring on the following:

Telephone calls

Paper Inventory reviews

Specific issues (e.g., Disclosure)

The primary purpose of a non-evaluative review is to help the employee develop and enhance their job skills. Effective non-evaluative
reviews foster open lines of communication between the employee, the manager, and the technical lead. This enables the manager
and/or their lead to receive or provide employee feedback and transfer operational goals informally.

Non-evaluative or coaching reviews do not contain a written rating. Share the results orally. Some documentation is appropriate
to establish it actually occurred. EQRS or Contact Recording may be used to track employee development for this purpose. Have
the employee initial and date the document. Provide one copy to the employee and retain the other copy in the employee's drop
file.

Non-evaluative or coaching reviews have a significant impact on how our callers are treated, since our employees can take
immediate advantage of our experience. The manager or the technical lead will conduct the review; however, occasionally delegating
these duties to a skilled journey level employee, for training purposes, may be appropriate.

1.4.18.6.1
(09-23-2011)Non-Evaluative Monitoring

Non-evaluative reviews are conducted for a number of reasons (e.g., identify training needs, improve performance).

When implementing major procedural revisions, non-evaluative reviews can help managers determine if additional procedural
reviews are needed or discussion during team meetings may be needed.

Non-evaluative reviews can help the manager and employee determine progress as a result of training and coaching conducted
as part of a performance improvement plan.

When an employee is having difficulty dealing with a caller, non-evaluative monitoring allows the manager to assist the employee,
if needed.

1.4.18.6.2
(09-23-2011)Side by Side Monitoring

You can accomplish non-evaluative monitoring by utilizing periodic side-by-side reviews, when deemed appropriate, or requested
by an employee. Use the optional telephone jack (double plugging) on the employee's TeleSet. Apply this technique when circumstances
merit an in-depth discussion for training purposes.

You may delegate this non-evaluative review to your technical lead or an On the Job Instructor (OJI). Periodically, delegate
this non-evaluative review to an experienced assistor to foster the team approach to improve your group's performance. This
approach will ultimately improve the work process.

1.4.18.7
(09-23-2011)Operational Review Overview

An Operational Review is an in-depth review and analysis of a particular program or function.

Reviews are conducted by the Operation Support staff (analyst).

1.4.18.7.1
(09-23-2011)Operations Support Staff Conducting Reviews

Operations Support Staff (analyst) conducting reviews will:

Evaluate and assess

Identify areas to improve

Establish target dates for improvement

Identify and praise accomplishments

Provide a follow-up on action items

The review will address:

Workload management practices

Personnel management practices

Administrative practices

Compare the above practices to the following:

Mission statement

Policies and regulations

National Agreement

Memos of Understanding (MOUs)

Program letters

Business measures and goals

Prepare a schedule of planned reviews at the beginning of each fiscal year and no later than November 1st. Provide the schedule
to the operation manager, or director, as appropriate.

Request the information needed from the manager 30 days in advance, so all information is available at the start of the review.
This may include the following items:

Employee Performance Files (EPF)

Personnel Files

Drop Files (including meeting minutes)

Training Files

Employee Survey Satisfaction results

Work Planning and Control (WP&C) data

Aged case listings

Sample of closed cases

Sample of open cases

Average handle time reports

Adherence reports

Transfer reports

Aspect reports

Security reviews

Totally Automated Personnel System (TAPS) data

Leave tracking

Evaluation/Mid-year tracking

Quality/Productivity/Improvement Initiatives

Engagement Plans/Activities

Updates on Engagement Strategy (ES) Tracker data

It is recommended when reviewing a Team Manager (TM) that you review a minimum of six EPFs; including a technical lead, one
team clerk/management and program assistant and four Customer Service Representatives or tax examiners if applicable. Also,
try to review EPFs of employees with different levels of experience.

Note:

Generally, DMs schedule one or two team reviews a month.

It is recommended when reviewing a DM that you review at least half of all EPFs of those who directly report to the DM, plus
samples of employees' EPFs from teams within that department.

Note:

A review of a DM may take about two weeks.

Obtain assistance, as needed, on completing technical portions of the review such as the closed case reviews. Operations managers
may also obtain assistance from the Operation Support staff to assist with department reviews.

Allow sufficient time for performing the review, writing the report, and giving feedback from the final report to the manager
or director as appropriate.

1.4.18.8.1
(09-23-2011)System Configuration

Two physical servers each have a logical web server and an application server.

One physical server has a logical application server.

One physical server has a logical database server.

The embedded BEA Tuxedo Server Software load balances the work among the three logical application servers. Automatic load
balancing between the web portals is employed through the use of F5 load balancer located in Martinsburg.

There are two physical servers in the development and test environment. One contains the logical web servers and application
servers, and the other is a database server.

Contingency plans have been created for disaster recovery and fail-over.

1.4.18.8.1.1
(09-23-2011)Server Contingency

The system is configured with multiple web and application servers. If an application or web server fails, the system will
continue to operate without interruption.

1.4.18.8.1.2
(09-23-2011)EHSS System Contingency

There is a stand-by system that can be brought up and available for use if the production system fails.

If the production system becomes non-operational, users will be notified by an EPSS Communication.